RB
Robert A. Baumgarten
Some features on this profile are disabled
CRD#: 4290487
RB
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Alan Baumgarten was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2000. Robert had worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
In addition to being a registered representative ("RR") of StanCorp Equities, Inc. ("SEI"), RR is associated with Standard Retirement Services ("SRS"), an investment adviser representative of StanCorp Investment Advisers, Inc. ("SIA"), and an insurance producer appointed with Standard Insurance Company ("SIC"). SRS is a retirement plan service provider that offers recordkeeping and plan administration services, SIA offers investment advice to retirement plan sponsors and plan participants, and SIC is a manufacturer of insurance products, including a fixed group annuity insurance product used by retirement plans as a funding vehicle. SEI, SRS, SIA and SIC (collectively "The Standard") are subsidiaries of Standard Financial Group and are located at 1100 SW 6th Avenue, Portland, OR. RR devotes 100% of their time during normal business hours to provide information about the retirement plan-related products and services offered by The Standard to unaffiliated third party retirement plan service providers, including broker/dealers and investment advisers, to enable them to sell to and support the needs of their customers. As of September 2020, Rob is a Board Member for Developmental FX (DFX), located at 7770 E Iliff Ave., Denver, CO 80231. DFX is a Colorado Non-Profit and a pediatric practice that offers evaluations and therapy for autistic children. This is a voluntary position, non-investment related, includes fund raising, and is expected to take approximately 4 hours/month during non-business hours. Robert is acting Treasurer and Registered Agent for the Scott Esserman for School Board Campaign, located at 1900 Niagara Street, Denver, CO 80220 the one-year period, from 12/1/2020 - 11/30/2021. This activity is not investment related, will take approximately ten hours per month outside of business hours, and there is no compensation associated with this role. There are no conflicts of interests identified with this activity and Robert's business at The Standard.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
August 15, 2001 - May 10, 2022
STANCORP EQUITIES, INC.
BD
CRD#: 19517
DENVER, CO
Past
January 19, 2001 - May 10, 2022
STANCORP INVESTMENT ADVISERS, INC.
RIA
CRD#: 110228
Denver, CO
Past
November 30, 2000 - August 16, 2001
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
SE
STANCORP EQUITIES, INC.
STANCORP EQUITIES, INC. | STANWEST EQUITIES, INC. | STANDARD EQUITIES, INC.
CRD#: 19517 / SEC#: , 8-37563
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1100 Sw Sixth Avenue, Portland, OR 97204-1093
Mailing Address
900 Sw 5th Avenue, C22, Portland, OR 97204-1093
Phone number
(971) 321-8830
Established
Oregon since 10/02/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANCORP FINANCIAL GROUP, INC. | OWNER OF STANCORP EQUITIES, INC. | |
| BURLIE, JASON MATTHEW | PRESIDENT | 4072452 |
| HUANG, JAMES PEI-YUEN | SECRETARY | 4020305 |
| LIM, CHARLES | CHIEF COMPLIANCE OFFICER | 5039063 |
| MARTIN, SHANNON MICHELLE | 2ND VICE PRESIDENT AND ASSISTANT CONTROLLER | 7616238 |
| PAGLIARULO, DAVID C | TREASURER, FINOP | 6883045 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
